Annual Ethics Training for Army Secretariat Personnel 2021

UNCLASSIFIED

Annual Ethics Training for

Army Secretariat Personnel2021

Army Office of General Counsel, Ethics and Fiscal

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APPLICABILITY

• Army Secretariat personnel may complete this module tosatisfy their annual ethics training requirement, whererequired.

• To receive credit, Army Secretariat employees must emailtheir certificate of completion to Army OGC as instructedat the end of the presentation.

• Caution: If you are not an Army Secretariat employee,check with your servicing ethics office before taking thetraining to ensure that office will accept this presentationin satisfaction of your annual training requirement. Donot email your certificates of completion to Army OGC asinstructed at the end of the presentation. Non-ArmySecretariat employees seeking credit for completing thistraining must provide their certificates of completion totheir servicing legal office, not Army OGC.

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This module should be completed during official business hours so that

you may contact an ethics official if you have any questions.

Test questions at the end of the presentation.

APPLICABILITY

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PURPOSE

• This training is designed for use by Army Secretariat employees to satisfy their annual ethics training requirement, preferably when they cannot attend a live ethics training session.

• The intent of this module is to help Army personnel better understand their responsibility to foster and encourage an ethical workplace.

• Specifically, you are encouraged to think about the ethical culture in your organization and your contributions towards that culture.

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LEARNING OBJECTIVES

• General Principles of Public Service• Ethical Decision Making• Political Activities• Non-Federal Entities• Gifts• Conflicts of Interest• Impartiality in Performing Official Duties• Financial Disclosure Reports• Misuse of Position• Use of Government Resources• Outside Activities / Employment• Post-Government Employment

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GENERAL PRINCIPLES OF PUBLIC SERVICE

DO• Place loyalty to the Constitution, the

laws, and ethical principles aboveprivate gain.

• Act impartially to all groups, persons,and organizations.

• Protect and conserve Federalproperty.

• Disclose waste, fraud, abuse, andcorruption to appropriateauthorities.

• Fulfill in good faith your obligationsas a citizen, and pay your Federal,State, and local taxes.

• Comply with all laws providing equalopportunity to all persons, regardlessof their race, color, religion, sex,national origin, age, or handicap.

DON’T• Use public office for private gain.• Use nonpublic information to

benefit yourself or anyone else.• Solicit or accept gifts from persons

or parties that do business or seekofficial action from DoD (unlesspermitted by an exception).

• Make unauthorized commitments orpromises that bind the Government.

• Use Federal property for other thanauthorized activities.

• Take jobs or hold financial intereststhat conflict with your Governmentresponsibilities.

• Take actions that give theappearance that they are illegal orunethical.

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ETHICAL DECISION MAKING

Always ask yourself these questions when making a decision:

• Do the ethics rules permit me to take a proposedaction?o May I proceed?o If yes, SHOULD I proceed? Just because a

course of action is legal does not mean it is agood idea.

• What are the benefits to DoD if I take theproposed action and what are the RISKS ofcreating an appearance of unethical conduct?

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The Hatch Act was passed in 1939 to ensure that federal programs "are administered in a nonpartisan fashion, to protect federal employees from political coercion in the workplace, and to ensure that federal employees are advanced based on merit and not based on political affiliation." (U.S. Office of Special Counsel)

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POLITICAL ACTIVITIES

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Political Activity: activity directed toward the success or failure of a political party, candidate for partisan political office, or partisan political group.


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• Federal Employees – Hatch Act,5 U.S.C. § 7321-7326.

• Soldiers – DoD Directive 1344.10,Political Activities by Members of theArmed Forces.


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DoD Employees May NOT Solicit, Accept, or Receive Political Contributions. This includes:- Hosting or Serving as the POC for a fundraiser- Signing a fundraising solicitation letter- Collecting money at the door of a fundraisingevent- Soliciting funds through a phone bank

(even anonymously)

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DoD Employees May NOT Use Official Authority to Affect the Outcome of an Election.May not invite subordinates to campaign events

May not use official title or position whileengaging political activity

May not use agency resources, e.g., officialsocial media account, while engaging in politicalactivity

May not use non-public information for politicalpurposes

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Examples of Prohibited Political Activity in the Workplace (includes telework location):Buttons, Posters, Coffee Mugs, Screen Savers, etc.,

that support or oppose political parties orcandidates running for partisan political office

E-mailing, blogging, tweeting, posting to socialmedia, prohibited in the workplace: Even if using a personal device or email account Even if sharing or forwarding content which was

authored by others Even if sharing or forwarding to friends or like-

minded coworkers

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POLITICAL ACTIVITIES?

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ALL DOD EMPLOYEES MAY:

Place a campaign sign in the yard (exceptions foron-post housing)

Place A campaign bumper sticker on a personalcar

Make financial contributions to political partiesor candidates running for partisan political office

Express personal opinions on candidates andissues (but maybe not a good idea in theworkplace)

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ALL DOD EMPLOYEES MAY:

Attend political events (but never in uniform)

Participate in nonpartisan elections

Assist in nonpartisan voter registration drives

Sign a nominating petition

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• Employees may voluntarily participate inactivities of non-Federal entities (NFEs) asindividuals in their personal capacities,provided they act exclusively outside the scopeof their official positions.

• But, an employee’s personal participation withan NFE may not be in a fiduciary role (forexample, as an officer, board member, orcommittee member) if such participationcreates a conflicts of interest that preventhim/her from performing certain official duties.

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NON-FEDERAL ENTITIES

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GIFTS

• A Gift is: • Any gratuity, favor, discount, entertainment, hospitality, loan,

forbearance, or other item having monetary value.

• Includes services as well as gifts of training, transportation, local travel, lodgings and meals, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has been incurred.

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GIFTS – NEW PARADIGM

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§ 2635.201(b)(1) –“Employees should consider declining otherwise permissible gifts if they believe that a reasonable person with knowledge of the relevant facts would question the employee’s integrity or impartiality as a result of accepting the gift.”

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GIFTS – NEW PARADIGM

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• It is important because of what it does:

– It changes the default.

– It shifts the employee’s focus from “how can I accept this,” to “should I accept this.”

– It requires the employee to engage in ethical decision-making. Ethics questions occur everyday, whether a specific rule applies or not.

• Bottom Line: Ownership by the employee of his/her actions.

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GIFTS FROM OUTSIDE SOURCES

General Rules (5 CFR 2635.202)

An employee may not, directly or indirectly:

• Solicit a gift from a prohibited source;

• Solicit a gift to be given because of theemployee's official position;

• Accept a gift from a prohibited source; or

• Accept a gift given because of the employee'sofficial position.

There are exceptions, of course!

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GIFTS FROM OUTSIDE SOURCESProhibited Sources

Remember the 14 Principles!

5 CFR 2635.101(b)(4) – GIFTS:

An employee shall not . . . solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee's agency, or whose interests may be substantially affected by the performance or nonperformance of the employee's duties.

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“Prohibited Source” Definition (5 CFR 2635.203(d))

Any person or entity who:• Is seeking official action by the employee's

agency;• Does business or seeks to do business with the

employee's agency;• Conducts activities regulated by the employee's

agency; or• Has interests that may be substantially affected

by the performance or nonperformance of the employee's official duties.

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Contractor employees are ALWAYS prohibited sources!

General rule – no gifts solicited or accepted

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OFFICIAL POSITION?

• Official Position:

Gift would not have been solicited, offered, or given had the employee not held the status, authority, or duties associated with his position

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• Modest items of food & non-alcoholic refreshment, not part of a meal.

• Items of little intrinsic value (e.g., plaques, certificates, and trophies), intended primarily for presentation.

• Free attendance at an event on the day an employee is assigned to present official information.

• Discounts and favorable rates available to the public, all Federal personnel, or all military personnel.

• Rewards and prizes from contests open to the public.

• Anything paid for by the Government.

• Gifts accepted by the Government under statutory authority.

• Anything for which market value is paid by the employee.

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GIFTS FROM OUTSIDE SOURCESExclusions (5 CFR 2635.203) – i.e., NOT GIFTS

UNCLASSIFIED

• Gifts with a value of $20 or less, not to exceed $50from the same source in a single calendar year.

• Gifts based on a personal relationship.

• Discounts and similar benefits meeting certainrequirements.

• Awards and honorary degrees.

• Gifts based on outside business or employmentrelationships.

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GIFTS FROM OUTSIDE SOURCESExceptions (5 CFR 2635.203) – i.e., GIFTS But…

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• Gifts customarily offered by a prospective employer.

• Social invitations from other than prohibited sources.

• Meals, refreshments, and entertainment in foreign areas.

• Gifts accepted under specific statutory authority.

• Free attendance at widely-attended gatherings (WAG).

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GIFTS FROM OUTSIDE SOURCESMore Exceptions (5 CFR 2635.203)

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More on the $20/$50 Rule:

• You may accept gifts valued up to $20 in value on oneoccasion (but not cash). [5 CFR 2635.204(a)]

• Gifts accepted from one source (e.g., one company) maynot exceed $50 in value in a calendar year.

• May not “buy down” gift to $20, e.g., pay $5 & accept agift worth $25.

• The $20 limit is per occasion and per source (e.g., at atrade show you may accept gifts worth $20 or less fromseveral different DoD contractors on the same day).

• Good practice – a system to track gift acceptance.29


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More on Widely Attended Gatherings (WAGs):

• Generally, an employee may not accept a gift given by a prohibited source (e.g., a DoD contractor) or given because of the employee’s official position.

• A common exception to this general prohibition is the widely-attended gathering (WAG) exception. Advance supervisory written approval required.

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More on Widely Attended Gatherings (WAGs):

The “Agency Designee” (generally supervisor) must determine, in writing, that:

1. A large number of attendees will be present.2. Diverse views will be represented.3. There will be an opportunity to exchange views.4. There is an agency interest in the subordinate’s

attendance.5. The agency’s interest in the employee’s attendance

outweighs the concern that the employee may appear to beimproperly influenced in the performance of officialduties.

NOTE: If Approved, MUST attend in personal capacity (leave/liberty) and may NOT use Government transportation.

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General Rule: Employees shall not:

1. Give or donate toward a gift for a superior or ask another employee to donate towards a gift to either his own superior or that of another; or

2. Accept a gift from a lower-paid employee (unless the donor and recipient are personal friends who are not in an official superior-subordinate relationship).

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GIFTS BETWEEN EMPLOYEES

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Exceptions:

1. Unsolicited gifts on traditional gift givingoccasions, such as holidays or birthdays, valuedat $10 or less (no cash).

2. Food and refreshments that will be consumed atthe office.

3. Personal hospitality (e.g., meals) at someone’shome.

4. Customary gift when you invite a subordinate toyour home for a meal.

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More Exceptions:

5. Hostess gifts in connection with the receipt ofpersonal hospitality (e.g., dinner party invite).

6. Unsolicited gifts on special infrequent occasions:

a) Wedding, illness, birth of a child

b) An occasion that terminates the officialsuperior – subordinate relationship (e.g.,transfer, retirement, resignation), but notpromotion.

NOT: Promotions, Birthdays, or Anniversaries 34


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Rules: Gifts for “special infrequent occasions:”

• Gift must be “appropriate to the occasion.”• May not accept a gift on these occasions from a

group that includes a subordinate if valued atover $300. (Contractors may NOT contribute)

• Do not include cost of food, refreshments, andentertainment provided to mark the occasion.

• Suggested voluntary donation may not exceed$10 (although all may give as much as desired).

• Gift to spouse to mark this occasion must beattributed to the employee.

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CONFLICTS OF INTEREST

• Statutory Provision - Criminal(18 U.S.C. § 208)

• Impartiality – RegulatoryProvision (5 C.F.R.

§2635.502)

• Financial Disclosure

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CONFLICTS OF INTEREST –Statutory Provision (18 USC § 208)

18 U.S.C. § 208 generally prohibits an employee from personally and substantially participating in a particular matter involving specific parties in which he (or anyone or any entity whose interests are imputed to him) has a financial interest, if the particular matter will have a direct and predictable effect on that interest.

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The interests of the following individuals are imputed to you for 18 U.S.C. § 208 purposes:

• You• Your minor children• Your spouse

REPORT THE SOURCE OF SPOUSAL NON-FEDERAL INCOME OVER $1000

ON THE FINANCIAL DISCLOSURE FORM!


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The interests of the following entities are imputed to you for 18 U.S.C. § 208 purposes:

• Your general partner (a "general partner" is a person who joins with at least one other person to form a business)

• An organization with which you are negotiating an arrangement for future employment

• An organization for which you serve as employee, officer, director, trustee, or general partner


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What is a particular matter?

• Focused upon the interests of specific persons(includes contractors), or a discrete andidentifiable class of persons (includingcontractors).

• Does not extend to broad policy making orconsiderations directed toward the interest of alarge and diverse group of persons or entities.

• Hint: Can you identify who is involved?


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IMPARTIALITY – Regulatory Provision (5 C.F.R. §2635.502)

Absent supervisory notice and authorization, an employee should not participate in any official matter:

• That is likely to have a direct and predictableeffect on the financial interests of a memberof the employee’s household; or

• Where a person with whom the employee hasa covered relationship is, or represents, aparty to the matter.

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Reasonable Person Test for Appearance of Impartiality

If a reasonable person with knowledge of the relevant facts would question the employee’s impartiality, the

employee should consult with his/her supervisor before participating in the matter.

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Covered Relationships Include:

• A member of your household or a relative withwhom you are close;

• Someone with whom you have or seek to have abusiness relationship other than a routineconsumer transaction (e.g., landlord / tenant);

• An organization (other than political party) inwhich you actively participate;

• Someone with whom your spouse, parent, ordependent child has (or seeks to have) a closebusiness relationship, such as partnership oremployment.

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The Primary Screen for Potential Conflicts of Interest

• OGE 450 filers - Use the Financial Disclosure Management program athttps://www.fdm.army.mil

• OGE 278e filers – Use Integrity athttps://www.integrity.gov

• Supervisor review is crucial! Best Business Practice - complete review within two weeks.

FINANCIAL DISCLOSURE REPORTS

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https://www.fdm.army.mil/

https://www.integrity.gov/

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New Entrant Reports: For any employee who is:

1) starting a position requiring financial disclosurefiling, or2) assigned duties requiring financial disclosurefiling

New Entrant Reports must be completed within 30 days from appointment to this position, or from starting the newly assigned duties.

Check the position description to see if the position requires financial disclosure reporting.


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Annual Reports

• Annual OGE 450, Confidential Financial DisclosureReport, due 15 February• For O-6/GS-15 and below whose duties involve

potential conflicts of interest with personal assets• Look at position description

• Annual OGE 278e, Public Financial DisclosureReport, due 15 May• All GOs, SESs, Schedule Cs, and Political

Appointees (PAs, PASs)


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Who Files a Public Financial Disclosure Report OGE 278e?

• OGE 278e filers:

• All GOs, SESs, Schedule C Employees,Political Appointees (PAs, PASs)

• Must file a Termination report within 30 daysafter departing Federal service.

• $200 fee for late OGE 278e filing.


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Periodic Transaction Reports• OGE Form 278-T

• All 278e filers must report purchases, sales, orexchanges greater than $1000 of:

• Stocks• Bonds• Commodities futures• Any other form of security (but not mutual

funds)

FINANCIAL DISCLOSURE REPORTS278e Filers Must Report Transactions

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OGE 278e Filers:Periodic Transaction Reports

• OGE Form 278-T

• Must also report for spouse, dependent child, and any security where employee is owner or partial owner.

• Due by the earlier of 1) 30 days after actual notice of the transaction or 2) 45 days after the transaction.

• Use Integrity to file this report. Monthly reminder available.


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MISUSE OF POSITION

An employee shall not use his public office for his own private gain, for the endorsement of any

product, service or enterprise, or for the private gain of friends, relatives, or persons with whom the employee is affiliated in a nongovernmental capacity, including nonprofit organizations of

which the employee is an officer or member, and persons with whom the employee has or seeks

employment or business relations.

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• “Endorsement of a non-Federal entity, event,product, service, or enterprise may be neitherstated nor implied by DoD or DoD employees intheir official capacities...” [DoD 5500.07-R,para. 3-209]

• Example: No wearing uniform while starring ina [insert name of favorite beer] commercial –implies Army endorsement.

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MISUSE OF POSITION: ENDORSEMENTS

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It is a misuse of position to endorse non-Federal entities (NFEs), to include contractors.5 C.F.R. 2635.701-702

An employee shall not use or permit the use of hisGovernment position or title in any manner thatcould reasonably be construed to imply the agencysanctions or endorses the employee’s personalactivities or those of another.

MISUSE OF POSITION:CONTRACTOR ISSUES

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Letters of Recommendation:

• Endorsement rules prohibit use of officialposition, title or authority, includingcertificates of achievement, official stationery,and “star notes,” to commend the contract-related performance of a contractor or of acontractor employee.

• Another example of improper endorsement:recommending a contractor or contractoremployee for a grant.

MISUSE OF POSITION: CONTRACTOR ISSUES

UNCLASSIFIED

More on Letters of Recommendation:• You may write a letter of recommendation or character

reference in your personal capacity, i.e., if you don’t useofficial stationery or your official title.

• You may write a letter of recommendation or characterreference in your official capacity, i.e., you may use officialstationery and your official title, if:

− You receive a request for the letter or reference,

− You have personal knowledge of the ability or character ofthe individual, and

− You have dealt with the individual in the course of yourFederal employment, or you are recommending theindividual for Federal employment. [5 CFR 2635.702(b)]

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MISUSE OF POSITION: CONTRACTOR ISSUES

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DoDI 1400.25-V451, November 4, 2013, states:

“Awards, award programs, ceremonies, or receptionsto acknowledge contributions by organizations orcompanies having a commercial or profit-makingrelationship with DoD must not be established.” Seeparagraph 3(h).

“To avoid issues in connection with contractualrelationships and obligations, actual or perceivedconflicts of interest, and actual or perceived acts offavoritism, persons, organizations, or companieshaving a commercial or profit-making relationshipwith DoD or with a DoD Component will not begranted recognition. See Enclosure 3, paragraph11(b)(2).


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The Contracting Officer (CO) or the Contracting Officer’s Representative (COR) may provide past performance feedback, positive or negative, to the contracting firm. The CO or COR may also provide feedback on past performance questionnaires.

Bottom Line: It is the CO’s or COR’s (and not your) responsibility to monitor contractor employee performance, and award accordingly.


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USE OF GOVERNMENT RESOURCES

• Use Federal Government equipment and property,including communications systems, only for officialpurposes or authorized purposes as approved by yoursupervisor.

• Subject to supervisor approval, you may use Governmentresources for personal purposes IF the use:− Does not adversely affect the performance of official

duties;− Is of reasonable duration and frequency;− Serves a legitimate public interest (such as keeping the

employee at their desk);− Does not reflect adversely on DoD; and− Creates minimal or no significant additional cost to

DoD.**WARNING: You should also check other regulations or policies applicable to particular categories of resources (e.g. – JTR, IT regulations, etc.). Even though personal use may not violate the ethics rules, it may violate these.**

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• Contractor employee time =government resource

• Contractor employees work on clockcontrolled by contractor supervisor –not gov’t supervisor

• Leave and other time off controlled bycontractor supervisor

• Holidays and other time off governed bycontract, not gov’t supervisor• Federal Government supervisors may not

authorize “59 Minute Rule” and trainingholiday paid absences for contractors

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USE OF GOVERNMENT RESOURCES:CONTRACTOR ISSUES

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OUTSIDE ACTIVITIES / EMPLOYMENT

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DoD Financial Disclosure Filers (OGE 450 and 278e) MUST obtain written approval from the supervisor before engaging in a business activity or compensated outside employment with a prohibited source.

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• The activity/outside employment requiring writtenapproval could include:

Adjunct professor duties at local universityFiduciary position with private organization that

conducts business with or seeks support from DoD(e.g., AUSA, AAAA, Signal Assn.; but not localschool board, soccer club, or homeowners assn.)

• Attach written approval to current financialdisclosure report in FDM.

• Army Attorneys: No outside practice of law withoutGeneral Counsel approval.

OUTSIDE ACTIVITIES / EMPLOYMENT

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• Military Officerso May generally begin civilian employment &

draw salary in transition leave status

• BUT!o No working for support contractor in

government office, or interacting withFederal personnel on behalf of the newemployer, during transition leave.Violates both 18 U.S.C. §§ 203, 205, Representing newemployer to Government while on AD

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OUTSIDE EMPLOYMENT: WORKING ON TRANSITION LEAVE

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• Same statutes apply to outside employment.

o No representing the outside business back to theFederal government.

• Violates both 18 U.S.C. §§ 203, 205 - Representing newemployer to Government while a full-time Federalemployee

• Includes contracts with Federal government

o No compensation for representational services onbehalf of a private entity/person rendered to theFederal government, either personally or byanother, at a time when the employee worked forthe Federal government.

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OUTSIDE EMPLOYMENT: WORKING ON TRANSITION LEAVE

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POST-GOVERNMENT EMPLOYMENT (PGE)

• SeekingEmployment inAnticipation ofRetirement orSeparation

• RepresentationalBans

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PGE: SEEKING EMPLOYMENT

• If you are seeking non-Federal employment(sending resumes to select employers), you maynot do Government work on a particular matterthat will affect the financial interests of yourprospective employer(s). You must request thatyour supervisor allow you to disqualify yourselffrom performing these duties.

• There are restrictions that will apply to youractivities in the private sector in light of yourspecific duties and level of responsibility as aGovernment employee.

• Always consult your ethics counselor beforeseparating from the Government.

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PGE: REPRESENTATIONAL BANS

18 U.S.C. § 207

After leaving the Federal Government, former employees are subject to additional CRIMINAL restrictions that may limit their interactions with the Federal Government when representing the interests of another

person or entity.

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PGE: RESTRICTIONS

Other PGE restrictions include:

• NDAA 2008 section 847

• Procurement Integrity Act

• The Stop Trading on Congressional Knowledge Act (STOCK Act)

• NDAA 2018 section 1045

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PGE ADVICE LETTERS

Section 847 of the 2008 NDAA requires certain current and former DoD personnel to request written post-employment advice if they expect to receive compensation from a DoD contractor within the two-year period from the date they left the Government.

“Covered DoD officials” either:1. Currently hold, or held when they left the Department, one of the following positions: 1)

Executive Schedule, which is one appointed by the President and confirmed by the Senate; 2) Senior Executive Service; or 3) general or flag officer position (grade 0-7 and above) (not frocked); andparticipated personally and substantially at the time of service in one of the above positions in an acquisition with a value in excess of $10 million; Or

2. Currently serve, or served when they left the Department, in one of the following positions:program manager, deputy program manager, procuring contracting officer, administrative contracting officer, source selection authority, member of the source selection evaluation board, or chief of a financial or technical evaluation team for a contract in excess of $10 million.

How to Get: Opinions must be requested and issued in AGEAR system (on the FDM home page).

DoD contractors may not pay you until you receive the opinion or 30 days have passed since you submitted a complete request, whichever occurs first.

You must have actual offer of employment or compensation to request a Section 847 opinion

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Final Exam

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NFE Scenario:

Ms. Smith DASA (Widgetry) (DASA(W)) is the vice-president of the American Society of Military Widgeteers (ASMW), an NFE. The ASMW offered her this position the day she was appointed DASA(W). The previous two DASA(W)s held this position before ASMW offered her this position.

Question:

May she accept this position without running afoul of ethics provisions?

Yes

No

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Final Exam Q#1

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Yes is incorrect.

It appears that ASMW offered Ms. Smith the vice-president position based on her official DASA(W) position. While DoD employees may voluntarily participate in NFE activities in their personal capacities, they may not serve in a personal capacity as an NFE officer or similar position offered because of the DoD position (DoD 5500.07-R, para. 3-301).

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Final Exam Q#1

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The correct answer is No.

It appears that ASMW offered Ms. Smith the vice-president position based on her official DASA(W) position. While DoD employees may voluntarily participate in NFE activities in their personal capacities, they may not serve in a personal capacity as an NFE officer or similar position offered because of the DoD position (DoD 5500.07-R, para. 3-301).

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Final Exam Q#1

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NFE Scenario:

COL Jones is the vice-president of the local chapter of the Association of the Army of the United States (AAUS), an NFE. The AAUS chapter is sponsoring a conference at the same installation where COL Jones works.

Question:

May COL Jones direct his Soldiers to set up for the local conference during the duty day?

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Final Exam Q#2

Yes

No

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Yes is incorrect.

DoD employees [to include Soldiers] “may not be used to support the unofficial activity of another DoD employee in support of non-Federal entities, nor for any other non-Federal purposes” (DoD 5500.07-R, para. 3-303b).

• NOTE: “Certain organizations have specialrelationships with DoD or its employeesspecifically recognized by law or by otherdirectives” (DoD 5500.07-R, para. 3-212).

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Final Exam Q#2

UNCLASSIFIED


DoD employees [to include Soldiers] “may not be used to support the unofficial activity of another DoD employee in support of non-Federal entities, nor for any other non-Federal purposes” (DoD 5500.07-R, para. 3-303b).

• NOTE: “Certain organizations have specialrelationships with DoD or its employeesspecifically recognized by law or by otherdirectives” (DoD 5500.07-R, para. 3-212).

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Final Exam Q#2

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NFE Scenario:Mr. Davis is an Army employee and the vice president of the Society of American Military Widgeters (SAMW), an NFE, in his personal capacity. One of Mr. Davis’s subordinates asks for his approval to attend a non-local SAMW conference as part of her official duties for the training benefit. Question:Assuming no legal issues with attending the conference, may Mr. Davis approve this request without running afoul of ethics provisions?

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Final Exam Q#3

Yes

No

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Yes is incorrect.If an employee is serving in a personal capacity as an NFE officer or director, the employee may not participate personally and substantially in any particular government matter in which the NFE has a financial interest. This is a criminal statute. In this case, the SAMW will benefit financially from Mr. Davis’s approval of this request. Mr. Davis should direct the employee to seek approval from another employee who is not an officer with this NFE.

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Final Exam Q#3

UNCLASSIFIED

The correct answer is No.If an employee is serving in a personal capacity as an NFE officer or director, the employee may not participate personally and substantially in any particular government matter in which the NFE has a financial interest. This is a criminal statute. In this case, the SAMW will benefit financially from Mr. Davis’s approval of this request. Mr. Davis should direct the employee to seek approval from another employee who is not an officer with this NFE.

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Final Exam Q#3

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Political Activities Scenario: An employee participating in an official online, on-camera office meeting from a telework location visibly drinks from a coffee mug advocating for passage of the Equal Rights Amendment.

Question: Has the employee violated the Hatch Act or DoDD 1344.10?

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Final Exam Q#4

Yes

No

UNCLASSIFIED

Yes is incorrect.

Passage of an Equal Rights Amendment is an issue and not political activity, even if it may be associated with a particular political party. Advocating for issues does not violate the Hatch Act or DoDD 1344.10. While advocating for issues may create other personnel issues in the workplace, it does not create a Hatch Act/DoDD 1344.10 issue.

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Final Exam Q#4

UNCLASSIFIED


Passage of an Equal Rights Amendment is an issue and not political activity, even if it may be associated with a particular political party. Advocating for issues does not violate the Hatch Act or DoDD 1344.10. While advocating for issues may create other personnel issues in the workplace, it does not create a Hatch Act/DoDD 1344.10 issue.

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Final Exam Q#4

UNCLASSIFIED

Political Activities Scenario: LT White, off-duty and using her own iPhone, sent a link to a friend for a fundraising page for a political candidate.

Question: Did LT White violate the Hatch Act/DoDD 1344.10?

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Final Exam Q#5

Yes

No

UNCLASSIFIED

No is incorrect.

Federal employees may not solicit, accept, or receive political contributions – 24/7.

They may not fundraise, even off-duty, and even using their own personal communications devices.

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Final Exam Q#5

UNCLASSIFIED

The correct answer is Yes.

Federal employees may not solicit, accept, or receive political contributions – 24/7.

They may not fundraise, even off-duty, and even using their own personal communications devices.

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Final Exam Q#5

Final Exam Q#6

Gift Scenario: LTC Officer is in charge of an office with military and Federal civilian personnel ranging in grades from GS9 to GS13, and CPT to LTC.

LTC Officer wants to ask the most junior person in the office to solicit voluntary donations from office personnel to buy a $50 vase to give to their boss,

Mr. Boss (SES), on his 50th birthday.Question: Is LTC Officer’s plan permissible under the “gifts between employees” rules?

UNCLASSIFIED 84

Yes

No

UNCLASSIFIED

Final Exam Q#6

Yes is incorrect.

General Rule: Employees shall not give or donate toward a gift for a superior, or solicit for such a donation (nor may the superior accept such a gift), unless an exception applies: 1) special infrequent occasion; or 2) occasional basis.

A birthday, even a milestone birthday, is not considered a “special infrequent occasion,” but falls under the “occasional basis” exception. In this case, an employee may give (and Mr. Boss may accept) an unsolicited birthday gift valued at $10 or less.

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UNCLASSIFIED

Final Exam Q#6

The correct response is No.

General Rule: Employees shall not give or donate toward a gift for a superior, or solicit for such a donation (nor may the superior accept such a gift), unless an exception applies: 1) special infrequent occasion; or 2) occasional basis.

A birthday, even a milestone birthday, is not considered a “special infrequent occasion,” but falls under the “occasional basis” exception. In this case, an employee may give (and Mr. Boss may accept) an unsolicited birthday gift valued at $10 or less.

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C. Pay for her own lunch with her personal funds.UNCLASSIFIED

Final Exam Q#7

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Gift Scenario: Prohibited Source Contractor, LLC (PSC) has generously treated the government Contracting Officer Representative (COR) to lunch twice during the calendar year (no other gifts during the year). It’s now December, and the COR is enjoying a third lunch on PSC. When the bill arrives, the COR realizes that the cost of her lunch would result in $56 worth of lunches paid for by PSC during the calendar year.

Question: What should the COR do?

A. Graciously thank PSC for their generosity.

B. Pitch in $6 to stay within the $50 CY gift limit.

UNCLASSIFIED

Final Exam Q#7

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A is incorrect.

By exception, an employee may accept a gift from a prohibited source (like PSC, LLC) but only if the gift is valued at $20 or less, maximum $50 per calendar year / per source. “Paying down” to stay within the limit is prohibited.

Even if the COR could have accepted the lunch gift, she should first consider whether she *should* accept the gift, and whether a reasonable person with knowledge of the relevant facts would question her integrity or impartiality as a result of accepting the gift.

UNCLASSIFIED

Final Exam Q#7

89

B is incorrect.

By exception, an employee may accept a gift from a prohibited source (like PSC, LLC) but only if the gift is valued at $20 or less, maximum $50 per calendar year / per source. “Paying down” to stay within the limit is prohibited.


UNCLASSIFIED

Final Exam Q#7

90

The correct response is C, pay for her own lunch with her personal funds.By exception, an employee may accept a gift from a prohibited source (like PSC, LLC) but only if the gift is valued at $20 or less, maximum $50 per calendar year / per source. “Paying down” to stay within the limit is prohibited.


UNCLASSIFIED

Final Exam Q#8

91

Gift Scenario: As long as an exception applies, government employees should feel free to accept a gift from a prohibited source, without ever having to think about anything else.

True

False

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Final Exam Q#8

92

True is incorrect.

• The first step when offered a gift from aprohibited source: the employee should thinkabout whether “a reasonable person withknowledge of the relevant facts wouldquestion the employee’s integrity orimpartiality as a result of accepting the gift.”

• If so, the employee should decline what mightbe an otherwise permissible gift.

See 5 CFR 2635.201(b)(1).

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Final Exam Q#8

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The correct response is False.

• The first step when offered a gift from aprohibited source: the employee should thinkabout whether “a reasonable person withknowledge of the relevant facts wouldquestion the employee’s integrity orimpartiality as a result of accepting the gift.”

• If so, the employee should decline what mightbe an otherwise permissible gift.

See 5 CFR 2635.201(b)(1).

Final Exam Q#9

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Conflict of Interest Scenario: Your spouse works as an IT developer for Cutting Edge Apps, Inc. You have just been tapped as part of the source selection team for a new Army contract to develop a “meeting collaboration app.” Cutting Edge Apps, Inc. is expected to submit a bid/offer.

Question: Can you participate in discussions with the source selection team as long as you don’t make the decision on who is awarded the contract?

UNCLASSIFIED

Yes

o

UNCLASSIFIED

Final Exam Q#9

95

Yes is incorrect.

Absent supervisory notice and authorization, an employee should not participate in an official matter:

• That is likely to have a direct and predictable effecton the financial interests of a member of theemployee’s household; or

• Where a person with whom the employee has acovered relationship is, or represents, a party to thematter.

In addition, Financial Disclosure filers must list the spouse’s employment on his or her Financial Disclosure form.

UNCLASSIFIED

Final Exam Q#9

96

The correct response is No.

Absent supervisory notice and authorization, an employee should not participate in an official matter:

• That is likely to have a direct and predictable effecton the financial interests of a member of theemployee’s household; or

• Where a person with whom the employee has acovered relationship is, or represents, a party to thematter.

In addition, Financial Disclosure filers must list the spouse’s employment on his or her Financial Disclosure form.

Final Exam Q#10

Financial Disclosure Scenario: An employee starting a position requiring financial disclosure filing (confidential or public) has 20 days from appointment to this position to complete the appropriate New Entrant financial disclosure report.

UNCLASSIFIED 97

True

False

UNCLASSIFIED

Final Exam Q#10

98

True is incorrect.

The employee has 30, not 20, days to file a New Entrant Financial Disclosure Report (confidential or public, as appropriate).

UNCLASSIFIED

Final Exam Q#10

99


The employee has 30, not 20, days to file a New Entrant Financial Disclosure Report (confidential or public, as appropriate).

UNCLASSIFIED

Final Exam Q#11

Financial Disclosure Scenario: Annual OGE 278e Public Financial Disclosure filers only have to comply with the 15 May annual filing suspense, with no other reporting obligations during the year.

100

True

False

UNCLASSIFIED

Final Exam Q#11

101

True is incorrect.

• All 278e filers must use a 278-T to report “periodictransactions,” which are purchases, sales, orexchanges greater than $1000 of stocks, bonds,commodities futures, and any other form ofsecurity (but not mutual funds).

• Must also report for spouse, dependent child, andany security where employee is owner or partialowner.

• Due by the earlier of: 30 days after actual notice ofthe transaction; or 45 days after the transaction.

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Final Exam Q#11

102


• All 278e filers must use a 278-T to report “periodictransactions,” which are purchases, sales, orexchanges greater than $1000 of stocks, bonds,commodities futures, and any other form ofsecurity (but not mutual funds).

• Must also report for spouse, dependent child, andany security where employee is owner or partialowner.

• Due by the earlier of: 30 days after actual notice ofthe transaction; or 45 days after the transaction.

UNCLASSIFIED

Final Exam Q#12

What kind of recognition may a DoD employee give a DoD contractor employee for performing work required by the DoD contractor’s contract?

103

A. Certificate of Achievement

B. Letter of Appreciation

C. Past Performance Feedback from ContractingOfficer (CO) or Contracting officer'sRepresentative (COR) to the contracting firm

UNCLASSIFIED

Final Exam Q#12

104

Certificate of achievement is incorrect.

It is the CO’s or COR’s responsibility to monitor contractor employee performance, and award accordingly. In addition, certificates of achievement / letters of appreciation could raise improper endorsement concerns.

UNCLASSIFIED

Final Exam Q#12

105

Letter of appreciation is incorrect.


UNCLASSIFIED

Final Exam Q#12

106

The correct response is past performance feedback from the Contracting Officer (CO) or the Contracting Officer’s Representative (COR) to the contracting firm.


UNCLASSIFIED

IMPORTANT ETHICS LINKS• 14 Principles of Ethical Conduct, 5 CFR 2635.101bhttps://www.oge.gov/Web/OGE.nsf/0/F07540A172D9CD8D852585B6005A1444/$FILE/14_general_principles_card.pdf• Criminal Statutes, 18 USC 201-216https://uscode.house.gov/browse/prelim@title18/part1/chapter11&edition=prelim• 5 CFR 2635, Standards of Ethical Conduct for

Employees of the Executive Branchhttps://www.ecfr.gov/cgi-bin/text-idx?SID=66d15bdadf7f1324d878d33e85db42ba&mc=true&node=pt5.3.2635&rgn=div5• 5 CFR 3601, Supplemental Standards of Conduct for

Employees of the DoDhttps://www.ecfr.gov/cgi-bin/text-idx?SID=353124751b41735871381fb548384b58&node=5:3.0.16.11.2&rgn=div5• DoD 5500.07-R, Joint Ethics Regulation (JER)https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/550007r.pdf?ver=2019-04-03-110847-370

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https://www.oge.gov/Web/OGE.nsf/0/F07540A172D9CD8D852585B6005A1444/$FILE/14_general_principles_card.pdf

https://uscode.house.gov/browse/prelim@title18/part1/chapter11&edition=prelim

https://www.ecfr.gov/cgi-bin/text-idx?SID=66d15bdadf7f1324d878d33e85db42ba&mc=true&node=pt5.3.2635&rgn=div5

https://www.ecfr.gov/cgi-bin/text-idx?SID=353124751b41735871381fb548384b58&node=5:3.0.16.11.2&rgn=div5

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/550007r.pdf?ver=2019-04-03-110847-370

UNCLASSIFIED

TRAINING COMPLETION INSTRUCTIONS

The next slide is your certificate of 2021 Annual Ethics Training completion. Please insert your full name and training completion date and save the certificate as a .pdf file to an appropriate folder on your computer.

Army Secretariat personnel only:

The slide after your certificate provides a link to Army OGC; please select the appropriate link (OGE 450 Filer or OGE 278e Filer), attach your .pdf certificate of completion, and send to Army OGC to receive training credit.

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Completed:

2021 Army OGC Annual Ethics

Training Certificate of Training

Submission of this certificate as proof of training completion serves as your official statement that you have properly received the 2021

annual ethics training brief

(Type your full name and training completion date.)

Has satisfactorily completed the

2021 annual ethics trainingPresented by the Department of Army

Office of the General Counsel, Ethics and Fiscal

DD/MM/YYYY

UNCLASSIFIED

Remember: If you are not an Army Secretariat employee,do not email your certificates of completion toArmy OGC.

Non-Army Secretariat employees seekingcredit for completing this training mustprovide their certificates of completion totheir servicing legal office, not Army OGC.

109


Army Secretariat personnel ONLY: to receive credit for this mandatory training, email the certificate of completion to Army OGC via one of the options below.

***Note: Selecting an option below will open a new e-mail message, which Army Secretariat personnel(only) can send to the OGC (E&F) Mailbox torecord your training completion. ***

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UNCLASSIFIED

your training completion. ***OGE 450 Filer

OGE 278 Filer

mailto:[email protected]?subject=OGE%20450%20Filer%20-%20OGC%20Ethics%20Training%20Completion

mailto:[email protected]?subject=OGE%20278%20Filer%20-%20OGC%20Ethics%20Training%20Completion

UNCLASSIFIED

CONTACT INFORMATION(ARMY SECRETARIAT EMPLOYEES)

• Army Secretariat personnel shoulddirect questions to Army OGC(Ethics & Fiscal).

• Contact information for ArmySecretariat personnel is(703)695-4296, or e-mail:

[email protected]

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mailto:[email protected]